Browse Related Topics For:

Broker-Dealer

817
SEC
428
FINRA
347
Investment Adviser
180
Enforcement Actions
165
Cybersecurity
131
OCIE
117
Financial Institutions
116
Securities Exchange Act
104
CFTC
101
Compliance
95
Dodd-Frank
81
Popular
77
DOL
65
Securities
64
Fiduciary Duty
62
ERISA
61
Investors
60
Disclosure Requirements
57
Brokers
56
Financial Markets
55
Data Protection
54
JOBS Act
54
Risk Alert
53
Retirement Plan
52
Banks
51
Anti-Money Laundering
51
Conflicts of Interest
51
Registration
49
Enforcement
48
EU
47
Crowdfunding
47
Fiduciary Rule
46
Insider Trading
46
Securities Fraud
45
IRA
44
Banking Sector
42
Best Interest Contract Exemptions
41
No-Action Letters
40
FinCEN
40
Risk Management
40
Swaps
37
Investment Funds
37
Mutual Funds
37
Securities Act of 1933
36
Reporting Requirements
36
Sanctions
35
Proposed Amendments
34
DOJ
34
Fraud
34
Registration Requirement
33
Proposed Regulation
32
Financial Services Industry
32
Recordkeeping Requirements
31
Data Security
31
Exemptions
31
Federal Reserve
31
Investment Management
31
SEC Examination Priorities
31
Settlement
30
Cyber Attacks
30
Data Breach
30
European Securities and Markets Authority (ESMA)
30
Investment Advisers Act of 1940
30
Risk Assessment
29
CFPB
29
FCPA
29
Pay-To-Play
29
Regulation D
29
UK
29
Whistleblowers
28
General Solicitation
28
Private Placements
27
Audits
27
Chief Compliance Officers
27
Final Rules
26
ETFs
26
Financial Conduct Authority (FCA)
26
Finders
25
Regulation S-P
24
Accredited Investors
24
Derivatives
24
Hedge Funds
24
Insurance Industry
24
Private Equity Funds
23
Due Diligence
23
FDIC
23
Investment Companies
23
MSRB
22
401k
22
Arbitration
22
High Frequency Trading
22
OCC
21
Asset Management
21
Commodities
21
Corporate Governance
21
PCAOB
21
Personally Identifiable Information
20
Bank Secrecy Act
20
Financial Adviser
20
Funding Portal
20
Investment Company Act of 1940
20
NASD
20
Policies and Procedures
20
Private Equity
20
SIFMA
19
Civil Monetary Penalty
19
Criminal Prosecution
19
Fund Managers
19
Industry Examinations
19
Municipal Advisers
19
New Regulations
19
NYSE
19
Registered Investment Advisors
19
Rule 506 Offerings
18
BSA/AML
18
Mary Jo White
18
NFA
17
Data Privacy
17
Disgorgement
17
Hackers
17
Startups
17
Underwriting
16
Comment Period
16
Examination Priorities
16
Financial Regulatory Reform
16
Futures
16
Trump Administration
15
CME
15
Dark Pool
15
No-Action Relief
14
Advertising
14
Auditors
14
Capital Raising
14
Hong Kong
14
IOSCO
14
Private Funds
14
Retail Investors
14
Securities Transactions
14
Social Media
13
Acquisitions
13
AIFMD
13
China
13
Exchange-Traded Products
13
FCMs
13
Institutional Investors
13
Investment
13
Investor Protection
13
IRS
13
Money Laundering
13
Offerings
13
Public Offerings
13
Regulatory Standards
13
Security Risk Assessments
13
Spoofing
13
Structured Financial Products
13
Suspicious Activity Reports (SARs)
12
Capital Markets
12
Citigroup
12
Corporate Counsel
12
Cyber Incident Reporting
12
Cyber Threats
12
EMIR
12
Employee Benefits
12
Goldman Sachs
12
Internal Revenue Code (IRC)
12
NYDFS
12
Proposed Legislation
12
Securities Violations
12
Security-Based Swaps
12
Training
12
Unregistered Brokers
12
Vendors
11
Amended Regulation
11
Annuities
11
Capital Requirements
11
Data Loss Prevention
11
Filing Requirements
11
FSOC
11
FTC
11
Internal Controls
11
Municipal Bonds
11
Nasdaq
11
NEP
11
New Guidance
11
Swap Dealers
11
Virtual Currency
10
Administrative Proceedings
10
Algorithmic Trading
10
ALJ
10
Appeals
10
Australia
10
Capital Acquisition Broker (CAB)
10
Cease and Desist Orders
10
European Commission
10
Fees
10
Major Swap Participants
10
Market Manipulation
10
Mergers
10
NIST
10
RMBS
10
Third-Party
10
U.S. Treasury
9
Best Interest Standard
9
Bitcoin
9
Board of Directors
9
Bribery
9
Broker Commissions
9
Canada
9
Capital Formation
9
Class Action
9
Confidential Information
9
Custody Rule
9
Elder Issues
9
Exploitation
9
Financial Statements
9
Foreign Banks
9
Forum Selection
9
GAAP
9
Intermediaries
9
Mandatory Arbitration Clauses
9
Margin Requirements
9
Misrepresentation
9
Mortgages
9
Municipal Securities Issuers
9
Notice Requirements
9
Penalties
9
Political Contributions
9
Ponzi Scheme
9
Public Comment
9
Regulation A
9
Safe Harbors
9
Securities Litigation
9
Transfer Agents
8
Arbitration Agreements
8
C-Suite Executives
8
Cease and Desist
8
Corporate Culture
8
CPO
8
Customer Protection Rule
8
Cyber Crimes
8
Derivatives Clearing Organizations
8
Emerging Growth Companies
8
Equity Markets
8
FHFA
8
Foreign Investment
8
Hiring & Firing
8
Identity Theft
8
Incentive Compensation
8
Incident Response Plans
8
Market Participants
8
MiFID II
8
Morgan Stanley
8
Net Capital Rule
8
Private Offerings
8
Ransomware
8
Regulatory Agenda
8
Rule 15B9-1
8
SAR
8
Strategic Enforcement Plan
8
Stress Tests
8
Transaction Fees
8
Transparency
8
Variable Annuities
8
Volcker Rule
7
Alternative Trading Systems
7
Annual Reports
7
Background Checks
7
Bank Holding Company
7
Cross-Border Transactions
7
Cyber Insurance
7
Data Breach Plans
7
Deferred Prosecution Agreements
7
Delays
7
EB-5
7
EDGAR
7
IPO
7
ISDA
7
Life Insurance
7
Liquidation
7
Marketing
7
Material Nonpublic Information
7
Merrill Lynch
7
Misappropriation
7
Money Market Funds
7
Municipal Securities Market
7
OTC
7
Prohibited Transactions
7
Prospectus
7
Ranieri Partners
7
Rating Agencies
7
Regulation SCI
7
Regulatory Oversight
7
Retirement
7
Risk Mitigation
7
Rule 15c6-1(a)
7
Rule 2210
7
SCOTUS
7
Securities Settlement Cycles
7
State and Local Government
7
Stocks
7
Supervision
7
Trading Platforms
7
Transaction-Based Compensation
7
Unregistered Securities
7
Whistleblower Awards
7
Whistleblower Protection Policies
7
White Collar Crimes
6
Bad Actors
6
Benefit Plan Sponsors
6
BrokerCheck
6
Commercial Bankruptcy
6
Commodity Pool
6
Consumer Financial Products
6
Credit Suisse
6
Cross-Selling
6
Dismissals
6
Excessive Fees
6
Failure To Disclose
6
False Statements
6
FFIEC
6
Financial Reporting
6
Fixed Income Investments
6
Hedging
6
Investment Firms
6
JPMorgan Chase
6
Liquidity Risk Management Rule
6
NASAA
6
Neither Admit Nor Deny Settlements
6
Presidential Elections
6
Proprietary Trading
6
Rule 147
6
Rule 15a-6
6
SEC Advisory Committee
6
Shareholders
6
SIFIs
6
Small Business
6
Subsidiaries
6
Suitability Rule
6
Supervisors
6
Third-Party Service Provider
6
Title III
6
Venture Capital
5
529 Plans
5
Aggregation Rules
5
ASIC
5
Basel Committee
5
Beneficial Owner
5
Bonds
5
Business Continuity Plans
5
Clearing Agents
5
Collateralized Loan Obligations
5
Commodity Futures Contracts
5
Compensation Agreements
5
Customer Due Diligence (CDD)
5
Department of Business Oversight
5
Disruptive Trading Practices
5
Employer Liability Issues
5
Executive Compensation
5
FATCA
5
Filing Deadlines
5
Forex
5
Gramm-Leach-Blilely Act
5
Hart-Scott-Rodino Act
5
Investment Banks
5
Lehman Brothers
5
Libor
5
Licensing Rules
5
Malware
5
Material Misstatements
5
MiFID
5
Private Investment Funds
5
Proposed Rules
5
PTEs
5
Publicly-Traded Companies
5
Qualified Mortgage Rule
5
Registered Representatives
5
REIT
5
Repurchases
5
Retirement Plan Providers
5
Rule 144A
5
Rule 506(c)
5
Sales Commissions
5
Securities Regulation
5
Self-Regulatory Organizations
5
Senior Investors
5
Statute of Limitations
5
Trade Market Abuse
5
Wash Trades
5
Websites
4
Alternative Investment Funds
4
Amended Rules
4
AML/CFT
4
Asset-Backed Securities
4
Automotive Industry
4
Avon
4
Bank of New York (BNY) Mellon
4
Best Practices
4
Block Trades
4
Blue Sky Laws
4
Books & Records
4
Brokerage Accounts
4
Canadian Securities Administration
4
CCPs
4
CEA
4
CEOs
4
Class Action Arbitration Waivers
4
Clearing Agencies
4
Corporate Officers
4
Corporations Code
4
Covered Entities
4
Cross-Border
4
CTA
4
Currency Transaction Reports (CTR)
4
Cybersecurity Framework
4
Data Collection
4
Debt Securities
4
Elder Abuse
4
Electronic Blue Sheets
4
Electronic Communications
4
Electronically Stored Information
4
EMMA
4
Equity Securities
4
Escrow Accounts
4
European Banking Authority
4
FCRA
4
FinTech
4
FOIA
4
Foreign Exchanges
4
Foreign Official
4
Form ADV
4
Form D Filing
4
Freddie Mac
4
FSB
4
Fundersclub.com
4
Fundraisers
4
HSBC
4
Hyperlink
4
Information Reports
4
Investigations
4
Investment Portfolios
4
Market Access Rule
4
Mortgage-Backed Securities
4
New Legislation
4
Pensions
4
Personal Data
4
Portfolio Companies
4
Position Limits
4
PRA
4
Price Manipulation
4
Private Right of Action
4
Privately Held Corporations
4
Proxy Access Rule
4
Prudential Regulation Authority
4
Public Disclosure
4
Public Pension
4
Recidivism
4
Regulation FD
4
Restitution
4
Rule G-37
4
Section 10(b)
4
Section 5
4
Securities Exchanges
4
Senior Managers
4
Shareholder Proposals
4
Singapore
4
SLUSA
4
Stand-Alone SBSDs
4
Stock Exchange
4
Summary Judgment
4
Surveys
4
Threshold Requirements
4
Trustees
4
UBS
4
UCITS
4
UK Brexit
4
US v Newman
4
USCIS
4
Valuation
4
Wells Fargo
3
Accountants
3
Accounting Fraud
3
Administrative Hearings
3
Affiliates
3
AIFM
3
Alternative Mutual Funds
3
AngelList
3
Arbitrage
3
Associated Persons
3
Attorney-Client Privilege
3
Bank of America
3
Bankers
3
Barclays
3
BEA
3
Benchmarks
3
Big Data
3
Breach of Contract
3
Business Development
3
C&DIs
3
CARDS
3
Carve Out Provisions
3
Churning
3
CME NYMEX
3
Confidentiality Agreements
3
Conflict Mineral Rules
3
Constitutional Challenges
3
Consumer Lenders
3
Cooperation
3
Corporate Financing
3
Corruption
3
Counterparties
3
Credit Ratings
3
Creditors
3
Customer Funds Protection
3
Cybersecurity Examination Initiative
3
Depository Institutions
3
Deutsche Bank
3
Direct Access Partners
3
Directors
3
Disclosure
3
Discovery
3
Dividends
3
EBA
3
Educational Communications Rule
3
EFTs
3
Electronic Trading
3
Employer Group Health Plans
3
Encryption
3
Energy Sector
3
Enforcement Statistics
3
ETNs
3
Examination Procedures
3
Exceptions
3
Exemptive Relief
3
Exports
3
Fannie Mae
3
Fee Disclosure
3
Financial Crimes
3
Financial Services Authority
3
Finder's Fees
3
Fines
3
Foreign Affiliates
3
Foreign Nationals
3
FSMA
3
Global Market
3
Government Entities
3
Healthcare
3
High Net-Worth
3
Hong Kong Securities and Futures Commission (HKSFC)
3
Hotlines
3
Independence Rules
3
Individual Accountability
3
Information Sharing
3
Injunctions
3
International Data Transfers
3
International Harmonization
3
Japan
3
Listing Standards
3
MCDC
3
Misleading Statements
3
Moody's
3
MSBSPs
3
Multinationals
3
Municipalities
3
National Futures Association
3
New Rules
3
Non-GAAP Financial Measures
3
Nonbank Firms
3
Obama Administration
3
OFAC
3
Offering Documents
3
Oil & Gas
3
Omissions
3
Ontario Securities Commission (OSC)
3
Oppenheimer & Co.
3
Panama Papers
3
Patriot Act
3
Payday Loans
3
Personal Benefit
3
Phishing Scams
3
Privity of Contract
3
Professional Liability
3
Qualified Retirement Plans
3
Red Flags Rule
3
Registered Investment Companies (RICs)
3
Regulation S-K
3
Regulation S-X
3
Regulation SHO
3
Required Documentation
3
Retail Market
3
Retailers
3
Retaliation
3
Revenue Sharing
3
Ring-Fencing
3
Rule 21F
3
Rulemaking Process
3
S&P
3
Safeguards Rule
3
Sarbanes-Oxley
3
Scienter
3
SEC Commissioner
3
Secondary Markets
3
Secretary of Labor
3
Securities Act
3
Securitization
3
Security and Privacy Controls
3
SEFs
3
Settlement Agreements
3
SIPC
3
Small Offering Exemptions
3
SRO
3
Stock Trades
3
Structured Finance
3
Suitability Requirements
3
Swing Pricing
3
Tax Returns
3
Terrorism Funding
3
Third-Party Risk
3
Tick Size
3
Time Extensions
3
TPAs
3
TRACE
3
U.S. Commerce Department
3
Unauthorized Access
3
Visas
3
Vulnerable Victims
3
Waiting Periods
3
Waivers
3
Withholding Tax
2
Administrative Authority
2
Affiliated-Business Arrangements
2
Affordable Care Act
2
Analytics
2
Annual Filings
2
Anti-Abuse Rule
2
Anti-Bribery
2
Anti-Corruption
2
Apple
2
Appointments Clause
2
Asia
2
Asset Freeze
2
Asset Valuations
2
Bailout
2
Bank Accounts
2
Bank of England
2
Barack Obama
2
Basel III
2
Bernie Madoff
2
Best Execution
2
BIS
2
BitLicense
2
Business Advice
2
Business Development Companies
2
Buyers
2
Bylaws
2
Captive Insurance Company
2
CBOE
2
Certiorari
2
Checking Accounts
2
Clean Shares
2
Collateralized Debt Obligations
2
Commodities Exchange Act
2
Commodity Broker
2
Compensation
2
Consent Order
2
Construction Contracts
2
Consultation
2
Consumer Contracts
2
Contract Interpretation
2
Convertible Debt
2
Corporate Financing Rule
2
Corporate Issuers
2
Countrywide
2
Covered Transactions
2
CPOs
2
Credit Checks
2
Credit Default Swaps
2
Credit Unions
2
Criminal Conspiracy
2
Critical Infrastructure Sectors
2
Customer Information
2
De Minimis Claims
2
Deadlines
2
Defamation
2
Department of Financial Services
2
DHS
2
Disciplinary Proceedings
2
Dispute Resolution
2
Distribution Rules
2
Distributors
2
Division of Investment Management
2
DMO
2
Employment Contract
2
EPA
2
Equity Investors
2
Equity Research Rule
2
Established Business Relationship
2
EU Data Protection Laws
2
EU-US Privacy Shield
2
European Central Bank
2
Export Controls
2
Expungement
2
Extraterritoriality Rules
2
Facebook
2
Failure-to-File
2
Fair Housing Act (FHA)
2
False Claims Act (FCA)
2
Family Offices
2
FCC
2
Federal Budget
2
Federal Register
2
Field Assistance Bulletins
2
FIRREA
2
Fitch
2
Flood Insurance
2
FLSA
2
Foreign Private Issuers
2
France
2
Free Identity Theft Protection
2
Funding
2
Funding Options
2
G-SIB
2
Gifts
2
Global Systemically Important Financial Institutions (GSIFI)
2
Governance Standards
2
Government Investigations
2
Government Officials
2
Greece
2
HHS
2
High-Yield Markets
2
HIPAA
2
Hospitality Industry
2
IFRS
2
Immigrant Investment Visas
2
Income Taxes
2
Independent Contractors
2
Independent Director
2
Indictments
2
Information Governance
2
Information Systems Security Program (ISSP)
2
Initial Public Offerings
2
Injunctive Relief
2
Institutional Investment
2
Insurance Brokers
2
Insurance Litigation
2
Intangible Property
2
Interest Rate Swaps
2
Interest Rates
2
Internal Investigations
2
Internet
2
Internet of Things
2
Interpretive Letters
2
Investment Fraud
2
IRA Rollovers
2
ISS
2
KBR (formerly Kellogg Brown & Root)
2
Kickbacks
2
Kokesh v SEC
2
Larger Participant
2
Legal Entity Identifiers
2
Legislative Agendas
2
Lenders
2
Leverage Ratio
2
Leveraged Loans
2
Liability Insurance
2
License Agreements
2
Limited Liability Company (LLC)
2
LiquidAlts
2
Liquidity
2
Loan Modifications
2
Loans
2
M&A Brokers
2
Mail Fraud
2
Management Fees
2
Manufacturers
2
Margin Calls
2
Marijuana
2
Market Pricing
2
Material Disclosures
2
Meals-Gifts-and Entertainment Rules
2
Mexico
2
Microsoft
2
MiFIR
2
Mobile Apps
2
Monetary Authority of Singapore
2
Money Services Business
2
Money Transmitter
2
Motion to Dismiss
2
NAIC
2
Negligence
2
Negligent Supervision
2
Non-Cash Compensation
2
Non-Public Information
2
NRSRO
2
OCR
2
Offering Fraud
2
Offsets
2
Offshore Companies
2
OIG
2
OMB
2
Order Routing
2
PACs
2
Payment Systems
2
Pending Legislation
2
Penny Stocks
2
Pension Funds
2
Personal Liability
2
Personal Property
2
Portfolio Managers
2
Prejudgment Interest
2
Principal Transaction Exemption
2
Privacy Laws
2
Privacy Policy
2
Professional Conferences
2
Professional Misconduct
2
Proxy Season
2
Proxy Solicitations
2
Proxy Voting Guidelines
2
Public Communications
2
Public Hearing
2
Pump and Dump
2
Rare Earth Metals
2
Record Preservation
2
Recruitment Incentives
2
Recruitment Policies
2
Red Notices
2
Referral Fees
2
Regulation AT
2
Regulation NMS
2
Regulation S
2
Regulation T
2
Request For Information
2
Rescission
2
Resource Extraction
2
Retroactive Application
2
Reverse Mergers
2
RICO
2
Rule 10(b)
2
Rule 206(4)-5
2
Rule 506
2
Sales & Use Tax
2
Sales Tax
2
SDN List
2
Section 10(b)-5
2
Security Audits
2
Segregated Funds
2
Self-Reporting
2
Sellers
2
Serious Fraud Office
2
Service Contracts
2
Share Classes
2
Short Sales
2
Siemens
2
Small Cap Stocks
2
South Korea
2
Standard of Care
2
Standing
2
State Taxes
2
Statement of Information
2
Statutory Waiting Period
2
Stock Options
2
Stock Repurchases
2
Surety & Fidelity
2
Swap Clearing
2
Tandy Letter
2
Task Force
2
Tax Evasion
2
Tax Exemptions
2
Tax Reform
2
Technical Standards
2
Training Requirements
2
Transfer of Assets
2
Unfair or Deceptive Trade Practices
2
US-EU Safe Harbor Framework
2
Variation Margin Requirements (VM)
2
Volkswagen
2
VPPA
2
Wage and Hour
2
Wall Street
2
Wire Fraud
2
XBRL Filing Requirements
2
Yates Memorandum
2
Young Lawyers
1
Ability-to-Repay
1
ABLE Act
1
ABS
1
Accounting Controls
1
Accounting Standards
1
ACH Payments
1
Actual Injuries
1
ADEA
1
Adequate Assurances
1
Adjustable-Rate Mortgage
1
Administrative Appointments
1
Administrative Exemption
1
Administrative Merits Determinations
1
Administrative Procedure Act
1
Administrative Remedies
1
Admissions of Liability
1
Adverse Employment Action
1
Advisors Act
1
Advisory Committee
1
Aerospace
1
Age Discrimination
1
AICPA
1
AIG
1
Airlines
1
AirNB
1
Akamai Technologies
1
Alstom
1
Alternative Fee Arrangements
1
Amazon Marketplace
1
AMF
1
Angel Investors
1
Annual Assessments
1
Annual Notices
1
Annual Statements
1
Anti-Fraud Provisions
1
Anti-Retaliation Provisions
1
Anti-Terrorism Financing
1
Anti-Tying
1
Appearance Policy
1
Apportionment
1
Arbitration Awards
1
Arbitrators
1
Arthur Anderson
1
Article II
1
Article III
1
Asset Diversification
1
Asset Protection
1
Assignments
1
AT&T Mobility v Concepcion
1
ATMs
1
ATS
1
Attorney Generals
1
Attorney's Fees
1
Audited Financial Statements
1
Australian Securities and Investments Commission
1
Automatic Renewals
1
Automation Systems
1
Bad Faith
1
Balance Sheets
1
Bank Fraud
1
Bank Loan Markets
1
Banking Examinations
1
Banking Regulators
1
Bankruptcy Code
1
BATS Exchange
1
BDC
1
BE-180
1
Benchmarking
1
Beneficiaries
1
Bermuda
1
Bilateral Agreements
1
Binary Options
1
Biometric Information
1
BizJet
1
Blockchain
1
Bonuses
1
Brazil
1
Breach Notification Rule
1
Broken Windows
1
Brokered Deposits
1
Bruker
1
Bulk Purchasing
1
Burden of Proof
1
Burden-Shifting
1
Bureau of Economic Analysis
1
Business Associates
1
Business Taxes
1
Business Valuations
1
BVI Business Companies
1
CalPERS v ANZ Securities
1
Cancellation Rights
1
Capital Markets Union
1
Carbon Emissions
1
Carried Interest
1
Case Management
1
Cayman Islands
1
CCO
1
CD&I
1
CDD
1
CDIs
1
CDS
1
Central Counterparties
1
CFIUS
1
CFOs
1
CFPB Bulletins
1
Change in Control
1
Change in Ownership
1
Chapter 11
1
Charles Schwab
1
Check the Box Rules
1
Cherry Picking
1
Choice-of-Law
1
CIP
1
CISO
1
CISPA
1
Citizenship
1
City of Pontiac
1
Claims Made Policy